Mutual Fund Compliance Officer
Salary $100000 - $130000 per year
Location Rye Brook
Consultant Lucky Nguyen
Date posted January 6, 2017
A position with a renowned investment manager has become available in the organization's Westchester County, NY office. This firm is a very reputable investment manager that has a worldwide presence within the industry.
About the Mutual Fund Compliance Officer Position:
The Mutual Fund Compliance Officer position will be a role that involves compliance responsibilities such as surveillance, policy & procedures, testing and other generalist compliance responsibilities. The main area of coverage will be surrounding ETF products.
- Monitoring ETF trading activity to ensure compliance investment guidelines
- Research, evaluate and document compliance issues in relation to third party service providers
- Interact closely with with the front office which includes ETF traders and portfolio managers
- Provide timely and accurate advice and guidance to traders and investment operations staff in response to compliance queries
- Prepare compliance reports for senior management
- Perform Rule 38a-1 and Rule 206(4)-7 reviews and testing, including on-site due diligence reviews of service providers
The ideal candidate will have a strong compliance background dealing with the 1940 Investment Advisor and Investment Company Act. Specific product knowledge pertaining to ETFs is required as well. This position is a generalist investment management role which will allow you to be exposed to multiple areas of investment management compliance.
This organization is one of the largest mutual fund providers in the United States. This firm is internationally recognized and boasts one of the best market performances.
If you are motivated compliance officer with experience dealing with mutual funds or ETFs, this is a great position for you.
Apply today or call me, Lucky Nguyen, on 212-704-9900.